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ISO 37301 Lead Auditor

Course description

The IECB Certified 37301 Lead Auditor course is designed to equip you with the requisite expertise to conduct audits of compliance management systems (CMS) in line with well-established auditing standards, methods, and procedures.

Many organizations are in need of skilled auditors who can ensure their systems, policies, and controls are in alignment with ISO 37301 requirements. This course is intended to prepare you to successfully carry out such audits, emphasizing the significance of effective CMS audits. Moreover, this course strengthens your proficiency in planning and executing CMS audits in accordance with ISO 19011 management system auditing guidelines and the certification process outlined in ISO/IEC 17021-1.

Participation in this course qualifies you to conduct audits on behalf of conformity assessment bodies.

The course is composed of various exercises, quizzes, and case studies that are designed to give you hands-on practice in the key elements of a CMS audit, including understanding ISO 37301 requirements, mastering auditing principles, learning how to gather evidence, leading audit teams, conducting interviews with auditees, reviewing documented information, drafting nonconformity reports, and crafting the final audit report.

Upon the successful completion of the course, you will be eligible to take an exam that assesses your knowledge and skills pertaining to CMS audits. If you pass this exam, you will be awarded the “Certified ISO 37301 Lead Auditor” credential, which serves as recognition of your professional capabilities and your competence to conduct an ISO 37301-based CMS audit.

Target audience

The ISO 37301 Lead Auditor training course is intended for:

  • Auditors seeking to perform and lead CMS audits
  • Managers or consultants seeking to better understand the CMS audit process
  • Team members responsible for maintaining an ISO 37301 CMS
  • Technical experts seeking to assist in a CMS audit
  • Expert advisors and internal compliance officers

Learning outcomes

This training course enables you to:

  • Grasp the core principles of a compliance management system (CMS) and associated processes as defined by ISO 37301
  • Comprehend the connections between ISO 37301 and other standards, as well as regulatory frameworks
  • Recognize the auditor's responsibilities in devising, leading, and conducting follow-up actions on a CMS audit in line with ISO 19011
  • Decipher the stipulations of ISO 37301 within the context of a CMS audit
  • Organize an audit, guide an audit team, create reports on nonconformities, and execute audit follow-up actions
  • Conduct audits with the appropriate level of professional care

Our approach

This training course is participant centred and contains:

  • Theories and leading practices utilized in Compliance Management Systems
  • Lectures enriched with practical illustrations drawn from a case study, including role-play scenarios and discussions
  • Interactions between participants through question and answer sessions and sharing of suggestions
  • Quizzes reflect the exam questions

Prerequisites

A basic understanding of ISO 37301 and knowledge of ISO 19011 audit principles.

Course overview

  • Module 1 Concepts and principles of a compliance management system
  • Module 2 Compliance management system requirements 
  • Module 3 ISO 19011 audit concepts and principles 
  • Module 4 Preparing an ISO 37301 audit 
  • Module 5 Conducting an ISO 37301 audit 
  • Module 6 Closing an ISO 37301 audit 
  • Module 7 Managing an ISO 37301 audit programme

Course Agenda

  • Day 1: Introduction to the compliance management system (CMS) and ISO 37301
  • Day 2: Audit principles and the preparation for and initiation of an audit
  • Day 3: On-site audit activities
  • Day 4: Closing of the audit and the Certification exam

Assessment

  • All candidates at official training courses are tested throughout their course with quizzes and exercises, in combination with a final exam held on the last day of the course.  Both elements are a part of the overall score. For this course, the final exam constitutes a 12 question essay type which should be completed within 180 minutes. A passing score is achieved at 70%. Self-study candidates can purchase an exam voucher from our Store.
  • Exam results are returned within 24 hours, with successful candidates receiving both a digital badge and a Certificate of Achievement
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